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User’s Guide to Performance Management

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University Human Resources Brown University

Table of Contents

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I. Overview…………………………………………………………………………………………………………………………………3

II. The Performance Management Cycle ………………………………………………………………………………………4

III. Performance Management Forms…………………………………………………………………………………………..6

1. Goal Setting and Review Form ………………………………………………………………………………………6

2. Self-Appraisal Form……………………………………………………………………………………………………..7

A. Accomplishments …………………………………………………………………………………………….7

B. Challenges………………………………………………………………………………………………………..7

C. Training and Development Opportunities…………………………………………………………..8

3. Performance Appraisal Form………………………………………………………………………………………..8

A. Section I: Performance Assessment…………………………………………………………………….8

a. Core Competencies…………………………………………………………………………………9

b. Job Specific Competencies…………………………………………………………………….10

c. Supervisory Competencies……………………………………………………………………..10

B. Section II: Overall Performance Appraisal Rating……………………………………………….11

C. Section III: Training and Development Opportunities…………………………………………12

D. Section IV: Staff Member’s Comments………………………………………………………………12

E. Signatures and Verifications……………………………………………………………………………..12

IV. Probationary Appraisal Form………………………………………………………………………………………………..13

V. Employee Relations Policy……………………………………………………………………………………………………..13

VI. Performance Management for Grades 13 and above………………………………………………………………..13

VII. Pay for Performance……………………………………………………………………………………………………………13

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I. Overview

Performance management at Brown University is a shared process that is optimized when there is continuous communication between employees and their supervisors about work expectations, goals, and performance. While the process is continuous, supervisors and employees share responsibility for completing the necessary steps to track and evaluate progress throughout the performance cycle. As defined more fully below, the annual process begins with goal setting and culminates with an annual performance appraisal of the staff member.

Brown’s performance management process emphasizes employee engagement and development as a means to maximize work performance and satisfaction, and it includes several steps throughout the year designed to facilitate an ongoing dialogue between supervisors and staff members.

The criteria included in the University’s annual Performance Appraisal measures employee performance in three distinct areas. First, the core competencies section is designed to measure a staff member’s performance of five core values the University has identified as vital to the success of every Brown employee. Next, the job specific competencies and achievement of goals sections measure the staff member’s performance of his/her most critical three to five job responsibilities as well as the progress toward achieving goals. Finally, the supervisory competencies section measures the staff member’s management and leadership skills, if applicable.

The five-scale rating system allows supervisors to assess the staff member’s performance for each competency. It is vital for supervisors to thoroughly evaluate the performance of their staff members because Brown is a pay for performance employer.

The goal setting and review process is a collaborative process intended to align the staff member’s work to departmental and University-wide goals. Given that the urgency and/or priority of goals often evolve over time, the goal setting process should remain flexible to allow the staff member to revise, add or eliminate goals when necessary. The Self-Appraisal allows staff members to emphasize their accomplishments during the review period but also requires individuals to reflect upon the challenges encountered. And finally, the performance management process requires both supervisor and staff member to proactively seek out necessary training and appropriate development opportunities.

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II. The Performance Management Cycle

The University’s standard review begins on April 1 and ends on March 31. In most circumstances, departments should use this review period when evaluating staff members; however, if the standard review period conflicts with a normal work cycle, a department head may opt to shift the standard review period forward. For example, a department head may decide that a May 1 to April 30 review period is preferable because staff members perform their most critical work in March and April. Please note that, in all instances, review periods must be 12 consecutive months and may not extend past May 1. Departments that opt to shift their review periods should contact Human Resources to discuss the time requirements noted below.

Step 1: Initial Goal Setting By June 30, the supervisor and staff member complete the initial goal setting process. Prior to June 30, the staff member should complete a first draft of the Goal Setting and Review Form and forward it to the supervisor prior to the initial goal setting conversation. At the initial goal setting conversation, the supervisor and staff member should discuss the draft of the Goal Setting and Review Form as well as appropriate plans and resources needed to achieve the goals (action plan, training, budget, staffing). Once the staff member and supervisor have reviewed and agreed upon the final draft of the Goal Setting and Review Form, both individuals should sign and date the form and keep a copy for future reference throughout the review period. The Goal Setting and Review Form does not have be forwarded to Human Resources.

Step 2: Mid-Year Review of Goals By mid-December, the supervisor and staff member complete a mid-year review of goals to discuss and reassess the goals established in June. During this meeting, goals should be reviewed and, if necessary, revised, reprioritized or eliminated formally. In addition, the supervisor and staff member should discuss progress made toward achieving goals as well as additional effort, support and/or resources needed. Supervisors may offer additional written performance feedback to staff members on the Goal Setting and Review Form as part of the mid-year review of goals. Again, both the staff member and the supervisor should keep a copy of the mid-year Goal Setting and Review Form for future reference; this form does not have to be forwarded to Human Resources.

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Step 3: The Self-Appraisal Form By mid-March, the staff member must complete and submit a Self-Appraisal Form to their supervisor. Self- Appraisals should include specific examples and descriptions of the staff member’s accomplishments and challenges along with any training and development opportunities they would like to complete in the upcoming review period. Supervisors may use the Self-Appraisal Form to prepare the final performance appraisal.

Step 4: The Performance Appraisal Form By mid-April, the supervisor should complete an initial draft of the staff member’s Performance Appraisal Form after considering the staff member’s performance over the entire review period and reviewing the completed Self-Appraisal Form. Human Resources recommends that all supervisors maintain Critical Incident Files (CIFs) for each of their direct reports to ensure that performance for the entire review period is considered and evaluated. CIFs should contain specific, balanced information and details relative to each staff member’s performance. Please note that appraisals with overall ratings of Consistently Exceeds, Does Not Consistently Meet or Does Not Meet Expectations must be forwarded to Human Resources by mid-April prior to delivery to the staff member. Human Resources will review and return the appraisal to the supervisor prior to the performance conversation.

Step 5: The Performance Appraisal Conversation By Late April, the supervisor and staff member should meet to discuss the initial draft of Performance Appraisal Form. The staff member should be notified at least one week in advance of this meeting and given a copy of the appraisal at least 24 hours in advance. Performance appraisal conversations should be held in a private space. Both individuals should communicate honestly and constructively. Examples should be given, whenever appropriate, to support specific ratings. The staff member should seek clarification on any part of the appraisal and may add comments prior to its finalization.

Step 6: The Final Performance Appraisal Form By May 1, the supervisor should send the original, fully-signed copy of the Performance Appraisal Form to Human Resources as per their communicated deadline. Prior to delivery, the supervisor’s manager should sign the form to indicate his/her review and approval. The staff member and supervisor should retain copies to use as a tool during the upcoming goal setting process.

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III. Performance Management Forms 1. Goal Setting and Review Form

Using the Goal Setting and Review Form, the staff member and supervisor should identify goals for the upcoming review period. There are two types of goals from which to choose: performance goals and/or developmental goals. Performance goals are typically short term objectives that could be accomplished in a fiscal year and address what is expected of the staff member in his/her current position. Developmental goals are tied to an anticipated or current need and are typically longer term. They address the areas in which the employee should develop for the future.

Whether the goal is related to performance or development, it should support the department’s mission and/or a specific project or program. The number of goals identified will depend on the staff member’s position as well as other factors. The staff member’s initial goals must be set by June 30th. Brown strongly encourages the use of the SMART goal format for both performance and developmental goals. SMART goals are:

Specific: well defined, clear and unambiguous

Measurable: define specific criteria for measuring progress toward accomplishing each established goal

Achievable: require staff members to stretch but are not impossible to achieve

Relevant: the goal is related to the department’s mission and/or a specific project or program

Timely: the time frame is clearly defined or progress toward achievement is tracked at regular intervals

The additional fields in the Goal Setting and Review Form are provided to outline the steps necessary for successful goal setting. Use the Anticipated Results field to explain why a particular goal is important. This field can also be used to address why the stated goal may not be achieved within a particular review period. The Action Plan/Timetable field should be used to define the steps necessary to achieve the stated goal and the time needed to achieve it. The Training Needed field should be used to identify development and training opportunities necessary to be successful. Please note that supervisors must approve all goals.

Example – Completed Initial Goal Setting

Goal Set internal budget request standards for needs not previously addressed. Communicate the established standards on behalf of VP to all directors.

Anticipated Results The new standards will assist in maintaining set budget guidelines for the year and will allow directors to have their requests formally reviewed by the VP.

Action Plan/Timetable Meet with VP in November to discuss drafted standards and communication document prior to finalizing. Meet with directors in January to communicate and implement new standards.

Training Needed

Mid-Year Review Supervisor’s Comments

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As previously noted, the staff member and supervisor must review and discuss goals midway through the review period. During this meeting, the staff member and supervisor should discuss progress as well as any modifications of the goals established in June.

Example - Completed Mid-Year Review

Goal Set internal budget request standards for needs not previously addressed. Communicate the established standards on behalf of VP to all directors.

Anticipated Results The new standards will assist in maintaining set budget guidelines for the year and will allow directors to have their requests formally reviewed by the VP.

Action Plan/Timetable Meet with VP in November to discuss drafted standards and communication document prior to finalizing. Meet with directors in January to communicate and implement new standards.

Training Needed N/A

Mid-Year Review Supervisor’s Comments

Jane continues to move toward successful completion of this goal. Her progress has increased steadily, and she will communicate her standards to the directors in January.

Finally, the Goal Setting and Review Form also includes a text box supervisors may use at their

discretion to provide additional comments concerning progress toward goals or any other feedback relative to work performance. 2. Self-Appraisal Form

The Self-Appraisal Form allows staff members to identify their accomplishments and

challenges and outline desired training and development opportunities. As previously noted, staff members must complete the form and submit it to their supervisors by mid-March.

A. Accomplishments The Accomplishments section should include critical assignments the staff member has

successfully completed, trainings attended, goals attained, and any responsibilities assumed outside of the scope of the position description.

Example - List of Accomplishments

Accomplishments

I continue to work toward 2 of my 3 established goals for the current review period including establishing standards to incorporate budget needs. I have met with directors, identified a process, and have begun to draft recommendations for the VP’s review. Additionally, I have been transitioning transactional financial tasks to the department administrative assistant to free up capacity to focus on my analytical responsibilities.

B. Challenges The Challenges section should include critical assignments the staff member has not fully

completed and/or goals not yet achieved. Additionally, the staff member should note the resources that would have assisted in avoiding or overcoming these challenges.

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Example - List of Challenges

Challenges

An unplanned department-wide initiative has caused several staff to revise their goals for the current review period to provide project support. I have revised my goals during my mid-year review because I had to focus on that project.

C. Training and Development Opportunities In the Training and Development Opportunities section, staff members should include any

professional development and/or training opportunities they would like to attend during the upcoming review period.

Example - Training and Development Opportunities

Training and Development Opportunities

I would like to complete MDP 1 and 2, offered through the Center for Learning and Professional Development, to sharpen my management skills.

3. Performance Appraisal Form

A. Section I: Performance Assessment The Performance Appraisal Form is a comprehensive tool for supervisors to evaluate an

employee’s performance during a review period. In Section I: Performance Assessment, supervisors are required to evaluate a staff member’s performance relative to core, job specific, and leadership competencies (if applicable), as well as progress toward the achievement of goals.

Supervisors may choose from five ratings and may provide narrative comments to fully

evaluate and provide feedback on the staff members’ performance relative to each competency. Please note that comments are only required for Consistently Exceeds, Does Not Consistently Meet and Does Not Meet Expectations ratings. The five ratings are:

Consistently Exceeds Expectations – A staff member must regularly exceeds expectations with respect to a particular competency to receive this rating.

At Times Exceeds Expectations - A staff member must consistently meet and, on occasion, exceed expectations with respect to a particular competency to receive this rating.

Consistently Meets Expectations – A staff member must regularly meet expectations with respect to a particular competency to receive this rating.

Does Not Consistently Meet Expectations– A staff member who does not always meet established expectations with respect to a particular competency should receive this rating.

Does Not Meet Expectations - A staff member who does not meet established expectations with respect to a particular competency should receive this rating.

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a. Core Competencies

In Section I, Part A of the Performance Appraisal Form, the supervisor should rate the employee’s performance relative to the following five Core Competencies identified as vital to the success of all staff members at Brown:

1. Accountability – When evaluating a staff member’s level of accountability, you should consider whether he/she has,

demonstrated initiative and ownership of responsibilities

sought out and applied feedback appropriately

enhanced personal knowledge, skills and abilities for continued effectiveness

followed up on tasks efficiently

demonstrated dependability and responsibility 2. Collaboration – When evaluating a staff member’s level of collaboration, you should consider whether he/she has,

built and maintained productive working relationships

demonstrated mutual respect, integrity and honesty when interacting with colleagues and co-workers

adapted to varying priorities and points of view with flexibility

resolved conflict effectively

3. Communication – When evaluating a staff member’s communication skills, you should consider whether he/she has,

demonstrated the verbal and written skills needed for the position

followed instructions

clarified information with others appropriately

understood and actively listened to others

4. Institutional Values – When evaluating a staff member’s commitment to Brown’s institutional values, you should consider whether he/she has,

engaged in ethical behavior

embraced diversity and inclusiveness

upheld University policies and practices

demonstrated commitment to the strategic plan, department goals and/or mission

5. Service – When evaluating a staff member’s commitment to service, you should consider whether he/she has,

responded to inquiries in a timely and beneficial manner

provided customers with exceptional service

displayed a positive demeanor

encouraged collaboration with colleagues and contacts

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Example - Completed Evaluation of Accountability

b. Job Specific Competencies

In Section I, Part B of the Performance Appraisal Form, the supervisor should evaluate the staff member’s performance of three to five major job responsibilities. Please note that the supervisor must populate the Job Responsibility fields with 3-5 major responsibilities taken from the staff member’s current job description. This does not have to include every responsibility listed in a job description. If a staff member’s job description does not accurately reflect the actual duties, it should be updated after consulting with Human Resources.

Example - Completed Evaluation of Job Responsibility

In the final text box in Part B of the Performance Appraisal Form, the supervisor must evaluate

the staff member’s achievement of goals. When completing this section, the supervisor should refer to the most recent Goal Setting and Review Form.

Example - Completed Evaluation of Goals

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c. Supervisory Competencies

In Section I, Part C of the Performance Appraisal Form, the supervisor evaluates the staff member’s performance management and leadership skills, if applicable. Ratings on supervisory competencies are based on several criteria including the individual’s ability to manage and lead staff toward successfully completing goals, offering on-going feedback on performance, delegating work appropriately. Staff members who oversee students may be rated using these competencies as well.

Example – Completed Evaluation of Managing Performance

B. Section II: Overall Performance Appraisal Rating

In Section II of the Performance Appraisal Form, the supervisor must rate the staff member’s overall performance during the review period and provide comments in this section regardless of the rating given to the staff member. Generally the overall rating should be a reflection of the ratings the staff member received relative to the core, job specific, and leadership competencies (if applicable), as well as the progress toward achieving goals. Please note that individual departments may weigh competencies differently according to their respective priorities. As in Section I, the five descriptive ratings are:

Consistently Exceeds Expectations – A staff member must consistently exceed expectations on most, if not all, competencies and make exceptional or unique contributions toward achieving divisional and departmental goals to receive this overall rating. A staff member who receives this overall rating is best described as an exceptional performer.

At Times Exceeds Expectations - A staff member must consistently meet and, at times, exceed expectations on most, if not all, competencies and make a significant contribution toward achieving divisional and departmental goals to receive this overall rating. A staff member who receives this overall rating is best described as a highly capable performer.

Consistently Meets Expectations – A staff member must consistently meet expectations on most if not all competencies and consistently makes the expected contributions toward achieving divisional and departmental goals to receive this overall rating. A staff member who receives this overall rating is best described as a solid performer.

Does Not Consistently Meet Expectations– A staff member who does not consistently meet established expectations on several competencies (or one or more competencies that are vital to the staff member’s position) and does not consistently make the expected contributions toward achieving divisional and departmental goals should receive this overall rating. A staff member who receives this overall rating is best described as an inconsistent performer who must demonstrate immediate improvement in one or more areas. Please note that an individual who receives an overall rating of Does Not Consistently Meet Expectations must also receive Written Notice of Performance Expectations or be placed on a Performance Improvement Plan.

Does Not Meet Expectations - A staff member who does not meet established expectations on most if not all competencies (or those competencies that are vital to the staff member’s position) and does not make the expected contributions toward achieving divisional and departmental goals should receive this overall rating. A staff member who receives this overall rating is best described as a poor performer who must demonstrate immediate improvement in several areas. Please note that an individual who receives an overall rating of Does Not Meet Expectations must also receive a Performance Improvement Plan.

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Example - Completed Overall Performance Rating

As previously noted, Human Resources must review and approve Performance Appraisals with overall ratings of Consistently Exceeds, Does Not Consistently Meet and Does Not Meet Expectations prior to being issued to the staff member. Human Resources will assist with the preparation and delivery of such appraisals. Appraisals with an overall rating of Does Not Consistently Meet or Does Not Meet Expectations must be coupled with either a Written Notice of Job Expectations or a Performance Improvement Plan.

C. Section III: Training and Development Opportunities

In Section III of the Performance Appraisal Form, the supervisor lists the training and

development opportunities the staff member should complete in the next review period. Supervisors should use the link to brown.edu/learningpoint included in the Appraisal Form to browse seminars offered by Brown’s Center for Learning and Professional Development. When considering which training and development opportunities to include in Section III, the supervisor should closely consider those opportunities the staff member highlighted in the Self-Appraisal Form. In any event, supervisors and staff members should discuss and identify potential programs at the appraisal meeting.

D. Section IV: Staff Member’s Comments In Section IV of the Performance Appraisal Form, the employee being reviewed may comment

on the appraisal and provide further insights relative to his/her work performance during the review period.

E. Signatures and Verifications The final portion of the Performance Appraisal Form requires the staff member’s signature to

verify that he/she has read the appraisal and was given the opportunity to provide comments in Section IV. The staff member’s immediate supervisor (the individual who completed the appraisal form) must also sign the appraisal to verify that he/she drafted and reviewed it with the staff member. The immediate supervisor must also verify that he/she read the staff members’ job description and agreed that it was accurate. And finally, the next level supervisor must also review and sign the Performance Appraisal Form to ensure it was completed constructively.

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IV. Probationary Appraisal Form

The Probationary Appraisal Form includes the five core competencies in the Annual Appraisal Form as well as a broad job knowledge competency. The supervisor must determine whether the probationary staff member has fulfilled the expectations for the position with respect to these competencies. The Probationary Appraisal Form includes only two rating options – Meets and Does Not Meet Expectations - for each competency. After rating the probationary staff member’s performance, the supervisor must recommend one of three options: continued employment as a regular employee, an extension of the probationary period, or termination of employment. The supervisor must consult with the HR Generalist assigned to his/her department prior to discuss the recommendation to either extend the probationary period or terminate the staff member’s employment. Human Resources does not have to review a decision to continue employment as a regular employee.

The Probationary Appraisal Form must be signed and returned to University Human Resources seven days prior to the end of the staff member’s probationary period. V. Employee Relations Policy

The University’s Employee Relations Policy (HR Policy 20.073) outlines the steps for supervisors to manage work performance and correct unacceptable behavior. The annual performance management process described in this manual and the University’s Employee Relations Policy should be used together to maximize employee performance at Brown. Click here to access the Employee Relations Policy. VI. Performance Management for Grades 13 and Above

Supervisors must evaluate all staff members regardless of grade level. Supervisors of staff members in positions graded at level 13 and above may use the performance appraisal tools included in this manual or a narrative format to appraise performance. Please click here to access a sample narrative format appraisal. VII. Pay for Performance

The University’s pay for performance system awards merit-based salary increases to staff members (HR Policy 40.042). As such, a staff member’s performance increase should be directly tied to his/her overall performance rating for the review period. Please note that the University does not use a forced distribution model; in other words, it does not mandate that a set percentage of staff members receive a particular overall rating (e.g., the University does not require that 50% of staff members must receive an overall rating of Consistently Meets). Instead, supervisors should only consider a staff member’s work performance when determining ratings.

After supervisors rate the performance of their staff members, departments should allocate their performance pools using the University-wide guidelines communicated each year. Please contact the Human Resources Generalist assigned to your department if you have any questions about merit pay and/or equity adjustments.